105 Compliance Monitoring Jobs - Page 4

Ensure compliance with corporate laws, including Companies Act, SEBI regulations, and FEMA guidelines. Organize board and committee meetings, including scheduling maintain statutory records and filings with regulatory bodies such as MCA, SEBI, RBI

Roles and Responsibilities Responsible for overseeing and managing the companys financial strategy, funding requirements, banking relationships, and capital structure to support infrastructure development projects. Key Responsibilities Develop financial strategies aligned with business objectives, ensuring effective working capital management. Oversee financial planning, budgeting, forecasting, and reporting to drive business growth. Manage cash flow projections, fund requirements, and investment decisions to optimize returns on investments. Ensure compliance with regulatory requirements and maintain relationships with banks/financial institutions. Analyze funding risks and recommend mitigation strategies. Provide inputs for business planning and budgeting. Analyze market trends and competitor activity to inform strategic financial planning. Skills & Competencies Strong understanding of project finance and corporate finance Excellent negotiation and communication skills Analytical and strategic thinking Relationship management with lenders and investors Knowledge of RBI guidelines and financial instruments

Industrial Trainee Payments Compliance About the Team- The PhonePe Financial Services Compliance team plays a critical role in the successful execution of the firm & compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm & compliance control environment. The Intern, Payments Compliance role is relatively new within the PhonePe Compliance & Regulatory Management team with responsibility for oversight of consistent implementation of policies & practices whilst ensuring country nuances are adopted to consider local laws and regulations. Such practices will include a common approach and framework for risk assessment, monitoring, testing and surveillance activities. The Payments Compliance Industrial Trainee is responsible for the timely and effective management and execution of the Payments Compliance goals. As a member of the PhonePe Payments Compliance team, the individual reports into the Manager, Compliance and will be based in Bangalore, India. The individual should have flair for compliance and regulatory advisory with a strong risk and control mindset, keen awareness and interest in research and analysis and is responsible to assess compliance with regulations and policies through reviews conducted across the various product types and instrument types used or issued within PhonePe and affiliated businesses. Roles and Responsibilities: Assist the compliance team in monitoring and analysing changes in Indian paymentsregulations, guidelines, and circulars issued by the RBI and other relevant bodies. Assist in responding to queries from internal teams regarding compliance requirements. Share regular and timely updates with all relevant stakeholders with regards to the progresson the ongoing regulatory implementations. Collect and Store relevant evidence, received from stakeholders from the variousimplementations done, for future Audit requirements. Support in formulating and providing compliance certifications on all regulatoryimplementations carried out on a periodic basis with various stakeholders. Help in documenting and updating internal compliance policies and frameworks in line withregulatory changes. Assist during regulatory inspections and ensure closure of the observations with multiplestakeholders Liaise with internal stakeholders to explain the audit requirements and observations in atimely fashion. Support management to compile, maintain and close-out audit finding responses,implementation of controls as per audit recommendations, etc. and ensure all Non IT auditobservations. Maintain accurate records of compliance activities and documentation. Conduct research on specific compliance topics related to payments, including KYC/AML,data localization, transaction monitoring, etc.Role Requirements: Good eye for detailing with respect to each product regulations and controls Basic knowledge or keen interest in the Indian regulatory landscape, particularly concerningfinancial services and payments (RBI guidelines, NPCI guidelines, PMLA, etc.). Have a good appreciation of the regulations applicable in India and APAC. Highly detail-oriented, motivated, curious individual with good time-management skills,analytical and communication skills Quick and sharp individual who relishes the challenges of understanding and interpretingregulations and processes across different businesses and jurisdictions. Strong communication, interpersonal and influencing skills. The candidate should have theability to establish credibility and strong partnerships with senior business leaders, controlfunctions and corporate partners globally. Fluency in written and spoken English is a must have. Excellent written skills, and ability toprepare clear, concise reports with minimal supervision. Have an audit and / or relevant industry qualifications, or a university degree. Industrial Trainee Payments Compliance Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) CA prospectsWhat You Will Gain: In-depth understanding of payments compliance in the Indian context. Hands-on experience with regulatory reporting and compliance monitoring. Mentorship from experienced compliance professionals. Exposure to the fast-paced Indian FinTech industry. Opportunity to contribute to ensuring regulatory integrity of a growing company.Internship duration- 12 months PhonePe Full Time Employee Benefits (Not applicable for Intern or Contract Roles) Insurance Benefits - Medical Insurance, Critical Illness Insurance, Accidental Insurance, Life Insurance Wellness Program - Employee Assistance Program, Onsite Medical Center, Emergency Support System Parental Support - Maternity Benefit, Paternity Benefit Program, Adoption Assistance Program, Day-care Support Program Mobility Benefits - Relocation benefits, Transfer Support Policy, Travel Policy Retirement Benefits - Employee PF Contribution, Flexible PF Contribution, Gratuity, NPS, Leave Encashment Other Benefits - Higher Education Assistance, Car Lease, Salary Advance Policy

JLL empowers you to shape a brighter way . Our people at JLL and JLL Technologies are shaping the future of real estate for a better world by combining world class services, advisory and technology for our clients. We are committed to hiring the best, most talented people and empowering them to thrive, grow meaningful careers and to find a place where they belong. Whether you’ve got deep experience in commercial real estate, skilled trades or technology, or you’re looking to apply your relevant experience to a new industry, join our team as we help shape a brighter way forward. Role Overview A Compliance Executive ensures that an organization adheres to legal standards, regulatory requirements, and internal policies. This role is pivotal in mitigating risks, fostering ethical practices, and maintaining the companys integrity across all operations. Key Responsibilities Policy Development & ImplementationFormulate and enforce compliance policies and procedures aligned with applicable laws and industry standards. Regulatory MonitoringStay updated on changes in legislation and regulations affecting the organization, ensuring timely adaptation of internal policies. Risk AssessmentConduct regular compliance risk assessments to identify potential vulnerabilities and recommend mitigation strategies. Internal Audits & InvestigationsOversee internal audits, investigate compliance breaches, and implement corrective actions. Training & AwarenessDesign and deliver training programs to educate employees on compliance obligations and ethical standards. Reporting & DocumentationMaintain detailed records of compliance activities and report findings to senior management and regulatory bodies as required. Stakeholder CollaborationWork closely with departments like Legal, HR, and Finance to address compliance concerns and ensure cohesive operations. External LiaisonServe as the primary point of contact for regulatory agencies and external auditors. Required Skills & Qualifications Educational BackgroundBachelor’s degree in law, Business Administration, Finance, or a related field. Experience1–8 years in compliance, risk management, or a related domain. CertificationsProfessional certifications such as CCEP (Certified Compliance & Ethics Professional) or CAMS (Certified Anti-Money Laundering Specialist) are advantageous. Technical ProficiencyFamiliarity with compliance monitoring tools and MS Office Suite. Analytical Skills: Strong ability to assess complex situations and implement effective solutions. CommunicationExcellent verbal and written communication skills. Ethical JudgementHigh standards of integrity and ethical decision-making. Location On-site –Aurangabad, MH Scheduled Weekly Hours 48 Job Tags: Transition Management If this job description resonates with you, we encourage you to apply, even if you don’t meet all the requirements. We’re interested in getting to know you and what you bring to the table! JLL Privacy Notice Jones Lang LaSalle (JLL), together with its subsidiaries and affiliates, is a leading global provider of real estate and investment management services. We take our responsibility to protect the personal information provided to us seriously. Generally the personal information we collect from you are for the purposes of processing in connection with JLL’s recruitment process. We endeavour to keep your personal information secure with appropriate level of security and keep for as long as we need it for legitimate business or legal reasons. We will then delete it safely and securely. Candidate Privacy Statement . For candidates in the United States, please see a full copy of our Equal Employment Opportunity and Affirmative Action policy here. Jones Lang LaSalle (“JLL”) is an Equal Opportunity Employer and is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process – including the online application and/or overall selection process – you may contact us at Accommodation Requests . This email is only to request an accommodation. Please direct any other general recruiting inquiries to our Contact Us page I want to work for JLL.

The Field Officer appointed will be responsible for conducting environmental sample collection, on-site monitoring, and field investigations. The role involves working in compliance with regulatory standards, ensuring quality assurance, and supporting laboratory analysis processes. Key Responsibilities: Conduct field sampling and monitoring of air, water, soil, noise, and other environmental parameters as per standard guidelines. Ensure proper handling, labeling, preservation, and transportation of collected samples to the Operate and maintain field monitoring instruments such as stack monitoring kits, air samplers, noise level meters, and water quality testing equipment. Adhere to standard operating procedures (SOPs) and regulatory guidelines set by MITCON, NABL and MoEFCC. Prepare field reports, data sheets, and documentation related to environmental sampling and Assist in environmental impact assessment (EIA) studies and compliance monitoring projects. Coordinate with laboratory analysts for sample analysis and reporting. Maintain accurate records of monitoring activities and ensure timely submission of reports. Follow safety protocols and environmental best practices while performing field activities. Provide technical support to clients on sampling procedures and regulatory compliance. Required Qualifications & Skills: 1-3 years of experience in environmental monitoring, field sampling, or a related role (Fresher s with relevant academic experience may also apply). Hands-on experience with environmental monitoring instruments is an advantage. Ability to travel extensively for fieldwork and work in various environmental conditions. Interested candidates are requested to send their updated resume along with a cover letter to [hr@mitconindia.com]. Only shortlisted candidates will be contacted.

Greetings for Delhi NCR Residents. If you are holding 1 year having Experience and looking for a KYC Onboarding profile in Gurgaon. Telephonic Interviews are being conducted. Hiring;- * Block Dispute Any Graduate/ No UG 1 year Dispute Handling/ Fraud Claims Exp. Salary - 7LPA * Block Credit Risk LOB Any Graduate only /No UG 1 yrs of Merchant Onboarding ( Client/ Business Onboarding) Salary - 5LPA * Block Banking LOB Any Graduate Only /No UG 1 Yrs pf Any Banking Exp Salary - 5LPA * Block KYC Any Graduate /UG 1 yrs of KYC onboarding experience Mandatory Salary - 5LPA Shift: 24x7 (Rotational) Work Days: 5 days working with Rotational Shifts ## NO REGISTRATION CHARGES ## Interested Candidates can Call or Whatsapp Resume Khushi- 80851 24583 Ayushi- 86022 79217 Not for candidates pursuing full time Graduation Regards, Eshu H.R. TEAM KVC CONSULTANTS LTD

About PhonePe Group: PhonePe is Indias leading digital payments company with 50 crore (500 Million) registered users and 3.7 crore (37 Million) merchants covering over 99% of the postal codes across India. On the back of its leadership in digital payments, PhonePe has expanded into financial services (Insurance, Mutual Funds, Stock Broking, and Lending) as well as adjacent tech-enabled businesses such as Pincode for hyperlocal shopping and Indus App Store which is India's first localized App Store. The PhonePe Group is a portfolio of businesses aligned with the company's vision to offer every Indian an equal opportunity to accelerate their progress by unlocking the flow of money and access to services. Culture At PhonePe, we take extra care to make sure you give your best at work, Everyday! And creating the right environment for you is just one of the things we do. We empower people and trust them to do the right thing. Here, you own your work from start to finish, right from day one. Being enthusiastic about tech is a big part of being at PhonePe. If you like building technology that impacts millions, ideating with some of the best minds in the country and executing on your dreams with purpose and speed, join us! About The Role Associate Manager, Compliance Stock Broking Reporting toManager /Senior Manager Role Overview: The Associate Manager, Compliance will support compliance activities related to stock broking, ensuring adherence to regulatory frameworks and internal policies. This role involves assisting in audits, regulatory reporting, and compliance monitoring to maintain operational integrity. Key Responsibilities: Assist in implementing compliance frameworks and monitoring mechanisms for stock broking operations. Conduct periodic compliance checks and support internal audits. Track and ensure timely regulatory reporting and submissions. Collaborate with business teams to address compliance concerns and queries. Stay updated on regulatory changes and assist in updating policies and procedures. Provide support in handling regulatory inspections and stakeholder communications. Qualifications & Experience: 3-5 years of experience in compliance, audit, or risk management within stock broking or financial services. Knowledge of SEBI regulations, exchange compliance, and market operations. Strong analytical and problem-solving skills. Effective communication and teamwork abilities. Experience in compliance monitoring tools and reporting is a plus. PhonePe Full Time Employee Benefits (Not applicable for Intern or Contract Roles) Insurance Benefits - Medical Insurance, Critical Illness Insurance, Accidental Insurance, Life Insurance Wellness Program - Employee Assistance Program, Onsite Medical Center, Emergency Support System Parental Support - Maternity Benefit, Paternity Benefit Program, Adoption Assistance Program, Day-care Support Program Mobility Benefits - Relocation benefits, Transfer Support Policy, Travel Policy Retirement Benefits - Employee PF Contribution, Flexible PF Contribution, Gratuity, NPS, Leave Encashment Other Benefits - Higher Education Assistance, Car Lease, Salary Advance Policy Working at PhonePe is a rewarding experience! Great people, a work environment that thrives on creativity, the opportunity to take on roles beyond a defined job description are just some of the reasons you should work with us. Read more about PhonePe .

Spec Preparation As per Regulation for Homologation file submission to Authorities Maintaining the Master Homologation specification Homologation Test reports & Certificate Database maintenance Certification for Serial life activities for already approved models eg Supplier changes, Quality improvement changes, 333 activities etc Including planning, co-ordination with Internal and External stake holders and execution. Co-ordination and Execution of homologation testing, vehicle preparation based on Plan developed by Homologation Pilot for Projects Compliance monitoring of Component COP

We Have come across your profile on Naukri and we have a permanent opportunity which might be of your interest. Our client ( Insurance based Org ) is looking for a Executive/Senior Executive-Compliance operations in Gurgaon . Please refer the below details. Also, please let me know the best time and number to reach you. Job Details: Position:- Job Location:- Gurgaon Work Mode- WFO-6 days Job Description The Operations Compliance Specialist will play a critical role in supporting the compliance and risk management functions of the organization, with a particular focus on insurance operations. This role involves ensuring that the company adheres to relevant regulatory requirements, industry standards, and internal policies while optimizing compliance processes. The ideal candidate will have experience in the insurance industry, strong knowledge of risk management principles, and a meticulous approach to managing compliance operations. Key Responsibilities: Compliance Oversight: - Monitor and enforce compliance with applicable insurance regulations, industry standards, and company policies. - Conduct regular audits and assessments to identify compliance gaps and potential risks within operational processes. - Develop and implement compliance programs and procedures to ensure adherence to all regulatory requirements- Operational Support: - Collaborate with Operations and Underwriting teams to streamline processes that impact compliance and risk management. - Monitor daily operations for compliance with insurance policies and regulations, including claims processing, underwriting, and policy issuance. - Provide guidance and training to operational staff on compliance and risk management best practices. Regulatory Reporting and Documentation: - Prepare, review, and submit regulatory filings as required by local, state, and federal authorities. - Maintain accurate and up-to-date records of compliance-related activities, risk assessments and audit findings. - Ensure all documentation is compliant with industry regulations and readily available for internal and external audits. Stakeholder Collaboration: - Serve as a liaison between Compliance, Legal, Operations, and other departments to facilitate compliance related projects and initiatives. - Engage with external stakeholders, such as auditors and regulatory agencies, during inspections, audits, and inquiries. - Stay current on industry changes, regulatory updates, and emerging trends in insurance and risk management to keep the organization informed and compliant. Risk Management: - Support risk management initiatives by identifying, assessing, and mitigating operational risks related to insurance. - Maintain risk registers and update risk mitigation strategies based on changes in the regulatory landscape or business activities. Collaborate with the Risk Management team to develop, implement, and review insurance policies and procedures that align with corporate risk tolerance. - Education: - Bachelor's degree in Business, Risk Management, Law, Finance, or related field. - Professional certifications in insurance, compliance, or risk management. Experience: - 1+ years of experience in compliance, risk management, or operations within the insurance or financial Services industry. - Familiarity with insurance regulations, compliance frameworks, and risk management practices. - Skills and Competencies: - Strong analytical skills with an ability to identify potential compliance and operational risks. - Excellent communication and interpersonal skills for effective collaboration with internal teams and External stakeholders. - Proficiency in compliance and risk management software is preferred. - Detail-oriented with exceptional organizational and problem-solving abilities. Thanks & RegardsPriyanga KumariBean HR Consulting-"Ahead Your Search"Contact +91- 9258253736https://beanhr.comLocations:- Ghaziabad(NCR)/Dehradun.

Company RNTBCI PL Job Description Spec Preparation As per Regulation for Homologation file submission to Authorities Maintaining the Master Homologation specification Homologation Test reports & Certificate Database maintenance Certification for Serial life activities for already approved models e. g. Supplier changes, Quality improvement changes, 333 activities etc. Including planning, co-ordination with Internal and External stake holders and execution. Co-ordination and Execution of homologation testing, vehicle preparation based on Plan developed by Homologation Pilot for Projects Compliance monitoring of Component COP Job Family Research & Development Renault Group is committed to creating an inclusive working environment and the conditions for each of us to bring their passion, perform to the full and grow, whilst being themselves. We find strength in our diversity and we are engaged to ensure equal employment opportunities regardless of race, colour, ancestry, religion, gender, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, etc. If you have a disability or special need requiring layout of the workstation or work schedule, please let us know by completing this form. By submitting your CV or application, you authorise Renault Group to use and store information about you for the purposes of following up your application or future employment. This information will only be used by Renault Group companies as described in the Group Privacy Policy .

Provide inputs to business proposals to ensure compliance and regulatory risks are restricted. Disseminate new regulations/exposure drafts to the respective functions and have meetings with them. Ensure timely implementation of the new regulations Conduct compliance reviews (adhoc and planned) as per the Compliance Monitoring Plan. To do Compliance Risk Assessment with respect to Penalty /Warning Orders issued by the Authority to other insurers. To make representations and collate comments from various functions for sending the same to the Authority. To prepare Regulatory Update and Compliance e Dashboard for the Chief Compliance Officer of the Company To track and monitor the Compliance issues of the Company in the Breach Log Register and Compliance Issues Register. To prepare presentations for the Board meeting, and other Board level Committee meetings of the Company. Involvement in business projects/proposals to ensure compliance point of view is considered and advice adhered to before launching the same. Cordial relationship with the regulator and involvement with regulator in shaping future regulations conducive to INHAs business model Provide compliant workarounds to business proposals wherever required Ensure compliance risks are within organizational appetite at all times, and timely information is provided to shareholders and management so as to be aware of the risk level of the organization. Compliance teams ability to provide compliant solutions and thereby act as a business enabler Timely furnishing of comprehensive reports/dashboards to management and shareholder Promote collaborative approach to problem solving whereby the function appreciates business requirements and makes efforts to provide compliant and workable solutions within the risk appetite when faced with restrictions under the extant regulations. Promote teamwork by involving team members in work related decision making and launching staff engagement initiatives within the team Identify learning and development opportunities for self to ensure competence of the team to handle and deliver functional responsibilities and facilitate succession planning Acceptability of the function within the business and operational management groups as a business enabler Engagement levels of team members and their continued association within the organization and team. Implementation of processes and systems and leveraging technology to streamline the functions routine activities and also facilitate easy tracking Review of Operational and other business processes and other areas which have a regulatory bearing, direct or indirect Adopt a risk-based framework for compliance, with focus of monitoring and initiatives on high-risk areas and control weaknesses or issues identified during past compliance risk assessments Streamlined processes and systems for routine activities Compliance role well defined and covering all areas of business and operations that have a regulatory impact Risk-based approach in compliance administration

Role & responsibilities :- Job Title- AGM - M&A/A&I Job Location- Noida, Bangalore, Chennai Job Description Identifying and evaluating potential risks in M&A transactions, while maintaining relationships with key stakeholders. Responsible for full range of deal execution issues, including due diligence, integration and pre- and post-transaction risk considerations Assisting with M&A risk reviews and analysis and overseeing risk due diligence. Leading the integration of newly acquired businesses and coordinating M&A risk assessments. Develop responses and remediation plans for identified M&A risks. Work directly with the Global Head of ERM/Senior Leaders to ensure appropriate reporting of metrics and other data to risk committees and the Board of Directors. Collaborating with senior leaders to ensure accurate reporting to risk committees and the Board of Directors. Enhancing HCLTechs M&A risk methodology and promoting a consistent approach across teams. Work closely with partners in other Control Functions and Lines of Businesses, to promote a consistent, insightful integrated approach to M&A risk management. Participate in periodic M&A risk assessments and conduct related ongoing compliance monitoring. Desired Experience and skills Education Degree in either Risk, Law, Business, Technology, or another related field required Masters degree in relevant field preferred/Technology background will be preferred Skills Experience in Project Management preferably in Risk and/or Control functions (e.g., audit, finance, risk, legal, M&A, strategy). Experience in dealing with oversight by sophisticated parties (e.g., government regulators, investor groups), and senior management of a large global firm. Strong knowledge and experience in Risk Management, Risk Assessment Program, Risk based Methodologies, Frameworks and Controls to identify and address any exposure due to M&A Risks. Strong knowledge/understanding of risk domains that we currently cover (Privacy, BCM, Cyber and Info Sec, Regulatory, VRM, and Contract risk etc.). Ability to build strong interpersonal relationships and strategic partnerships, while working collaboratively with other departments of the company Ability to untangle and analyze complex M&A issues and come up with viable solutions. Ability to communicate effectively with stakeholders. Ability to prepare documentation for discussion with shareholders. Business acumen to understand business risk and challenges and recognize corporate opportunities. Proficiency in using MS Office (Word, PowerPoint, Excel, Outlook, and MS Teams)

Manage statutory compliance for all business vertical across India,consumer/engineering segment Ensure proper implementation and consistent use of compliance software by team Stay updated on regulatory change/inform the business of new/amended law Required Candidate profile LLB ,Experience: 4 – 10 years, primarily or entirely in compliance (preferably in the manufacturing or FMCG sector) Visit factories and branch offices regularly to ensure 100% statutory compliance.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

Industry - Share & Stock Broking Job Loc - Camac Street - Kolkata Responsibilities Regulatory Compliance Policy Development Risk Assessment Monitoring and Reporting Internal Investigations Audits and Inspections External Relationships Required Candidate profile Exp - 2-5 yrs in compliance dept of Stock Broking company Education - Any Graduate with NISM Series III Exam Passed Age - within 45 yrs

Who are we? FalconX is a pioneering team of operators, investors, and builders committed to revolutionizing institutional access to the crypto markets. Operating at the intersection of traditional finance and cutting-edge technology, FalconX addresses the industrys foremost challenges: Navigating the digital asset market can be complex and fragmented, with limited products and services that support trading strategies, structures, and liquidity found in conventional financial markets. As a comprehensive solution for all digital asset strategies from start to scale, FalconX operates as the connective tissue empowering clients with seamless navigation through the ever- evolving cryptocurrency landscape. Qualifications: Sound knowledge of FSA Act, VASP Act, Compliance laws, rules, regulations, risks and typologies. Excellent written, verbal and analytical skills. Must be a self-starter, flexible, innovative and adaptive. Highly motivated, strong attention to detail, team oriented, organized. Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging. Ability to work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level. Experience in managing regulatory exams and relationships with examiners, auditors, and other external partners. Awareness of regulatory requirements including local laws, international FATF and industry standards. Responsibilities Develop, maintain and periodically review the Compliance Manual, AML/CFT programme, and internal policies to ensure alignment with the FSA requirements for licensed entities; Coordinating operational activities aiming to maintain compliance with legal requirements; Identifying any compliance issues or risk of failure and timely reporting to the Board of Directors; Preparing and submitting relevant reports to the Board of Directors and regulatory bodies; Responding to FSA and filing Suspicious Transaction Reports; Analysing regulatory developments, new compliance legislation and market developments; Enforcing organization compliance standards, policies and procedures; Providing guidance to the company s employees on subjects related to regulatory compliance, Money Laundering and Terrorist Financing; Conducting compliance monitoring of clients and third parties KYC; Reviewing agreements with clients and 3rd parties to ensure compliance with regulatory requirements; Investigating clients complaints. Notice at Collection and Privacy Policy Applicants located in California and/or applying to a role based in California, please refer to our Notice at Collection and Privacy Policy here . Inclusivity Statement FalconX is committed to building a diverse, inclusive, equitable, and safe workspace for all people. Our roles are intended for people from all walks of life. We encourage all those interested in applying to our organization to submit an application regardless if you are missing some of the listed background requirements, skills, or experiences! As part of our commitment to inclusivity, FalconX would like to acknowledge that the EEOC survey has limited potential responses that you can select. For legal reasons, FalconX must use this language to align with federal requirements, however, we want to ensure that you are able to provide a response to our own voluntary survey questions about your identity that best aligns with your most true self. FalconX is an equal opportunity employer and will not discriminate against an applicant or employee based on race, color, religion, national origin, ancestry, ethnicity, sex (including gender, pregnancy, sexual orientation, and gender identity), age, physical or mental disability, veteran or military status, genetic information, citizenship, or any other legally-recognized protected basis under federal, state, or local law. Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and other applicable state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on FalconX.

Core Responsibilities: Audit of Credit Process and Regulatory Compliance: Conduct comprehensive audits of credit processes and performance assessments to ensure adherence to internal policies and regulatory requirements. Evaluate business processes for efficiency and compliance with industry regulations and company policies. Develop Audit Plans: Develop detailed audit plans, including the scope, objectives, and methodologies for evaluating compliance in various functions. Coordinate with other departments to understand their operations and risk areas to tailor audits effectively. Evaluate Control Systems: Assess the adequacy of internal controls and processes in place to mitigate risks related to credit processes, transactions, and financial operations. Suggest improvements or corrective actions where necessary to strengthen internal controls. Prepare Audit Reports: Prepare comprehensive audit reports outlining findings, risk assessments, and recommendations for improvement. Provide clear and concise reports to management and key stakeholders regarding audit results and potential compliance gaps. Monitor Implementation of Audit Findings: Track and monitor the implementation of corrective actions based on audit recommendations. Work with relevant departments to ensure that action items are being addressed within agreed timelines. Collaboration with External Teams: Candidate should be able to collaborate with external stakeholders Continuous Improvement: Contribute to the development of audit methodologies, processes, and tools to enhance the efficiency and effectiveness of compliance assessments. Suggest improvements in internal auditing processes to achieve greater transparency and compliance monitoring. Skills and Competencies: Strong analytical and problem-solving abilities especially in the credit and underwriting systems of lending business Detail-oriented and able to manage multiple tasks effectively. Ability to maintain confidentiality and handle sensitive information appropriately. Knowledge of audit methodologies and risk assessment techniques. Strong organizational and time-management skills. Ability to work independently and as part of a team. Ability to influence and drive change across different departments.

Job Title: Insurance Compliance Officer Location: Gurgaon Experience: 48 years CTC: Negotiable Industry: Insurance / Financial Services Employment Type: Full-Time Job Description: Centricity is seeking a skilled and experienced Insurance Compliance Officer to ensure ongoing adherence to all applicable laws and IRDAI regulations. The ideal candidate will bring 4–8 years of relevant experience, a strong understanding of compliance frameworks, and a proactive approach to regulatory change and risk management. Key Responsibilities: Ensure company-wide compliance with all applicable IRDAI regulations and insurance laws. Develop, implement, and update compliance policies, procedures, and SOPs. Track regulatory updates and ensure timely communication and implementation across departments. Review and approve marketing materials and collaterals to ensure compliance. Conduct internal compliance reviews and audits; identify and address areas of non-compliance. Recommend corrective actions and monitor their implementation to ensure timely resolution. Prepare periodic compliance reports for senior management and the Board. Maintain comprehensive records of compliance activities and dashboards. Ensure documentation is audit-ready for inspections by regulators. Establish and monitor internal controls to support an effective compliance framework. Drive automation initiatives for compliance tracking and alerts to internal stakeholders. Stay updated with the latest IRDAI circulars and regulatory changes. Prepare presentations and reports for leadership with compliance insights and strategies. Qualifications: Bachelor's degree in Law, Finance, or related field (LLB / CS/Non CS preferred). 3–6 years of experience in a compliance role within the insurance or financial services industry. Strong knowledge of IRDAI regulations. Excellent communication, analytical, and documentation skills. Experience with compliance automation and reporting tools is a plus. Interested candidates can share their resumes at shafali@centricity.co.in

Role & responsibilities: Maintain and update employee databases, trackers, and documentation and takes care of all the compliances of HR Department and Audits Create and manage HR reports and dashboards using Excel (e.g., hiring status, attrition, attendance, MIS, Audits, and Compliances) Assist in recruitment coordination scheduling, follow-ups, documentation Support onboarding, exit formalities, and employee file audits Coordinate with internal teams for compliance and audit-related data Assist with internal communication, engagement, and L&D documentation Preferred candidate profile: • Bachelors degree in Human Resources, Business Administration, or related field • 13 years of experience in an HR support role • Advanced proficiency in MS Excel (VLOOKUP, Pivot Tables, Data Cleaning, etc.) • Strong attention to detail and ability to manage confidential information • Excellent coordination and communication skills

Key Responsibilities of Sr. Government Liaisoning Officer 1. Government Liaisoning & Approvals: Establish and maintain strong relationships with key officials in government departments. Liaise with central, state, and local authorities to secure necessary approvals, permissions, and work orders. Track and influence government policies relevant to the companys business. Proposal & Documentation: Draft and prepare compelling, technically sound proposals and presentations tailored to specific government requirements. Prepare and maintain comprehensive documentation and ensure complete file grooming as per departmental norms and protocols. Present proposals and reports to stakeholders, including government officials and corporate or private sector partners. 2. Project Execution: Coordinate end-to-end project executionfrom work order issuance to on-ground implementation. Monitor and manage field teams, ensuring timely execution as per scope and compliance standards. Conduct site visits and ensure smooth communication between departments and the company. 3. Administrative & Compliance Work: Ensure timely submission of reports, documents, and updates to government authorities. Contribute to the development of the organization's overall strategic plan. Address and resolve queries or concerns raised by departments regarding project execution or documentation. 4. Policy Analysis and Reporting: Analyze government policies, new laws and their impact on the organization. Provide strategic advice to senior management on how to navigate regulatory environments. Ensure all documentation is up-to-date and easily accessible for audits and reviews. Maintain accurate records of all government interactions, communications, and submissions and easily accessible for audits. 5. Crisis Management: Address and manage issues that arise from government actions or policies that may negatively impact the organization. Develop strategies to mitigate risks associated with government relations Preferred candidate profile Experience in handling files up to sanction stage in departments like Urban Local Bodies, Health, Rural Development, etc. Proven experience Minimum 57 years in government liaisoning, proposal writing, and project execution.

Basic Section No. Of Position 1 Grade 10 Level Senior Software Engineer Organisational Industry -- Function -- Skills Skill Software Coding software Administration Infra & Dev Ops Lead Infra Monitoring and Basic Administration Compliance Monitoring System ISO 27001 PLSQL SQL Oracle Forms & Reports Dashboard Creation Minimum Qualification Master In Computer Application Computer Science Engineering CERTIFICATION No data available About The Role Job Purpose Job Purpose Description Job Context & Major Challenges Job ContextProduction System is Online and System Driven. Material flow from one Production Centre to another is online. Any disturbance in Servers or Network will directly affect production. So 100% Server and Network uptime is essential for un-interrupted production. Same in the case of Despatch of materials. If the leased line link between Alupuram and Renukoot is down, despatch will not take place. Major Challenges : Upkeep and maintain the critical on-line systems in the plant and branches. Fulfill the new requirements of the plant and branches. Ensure Database Server availability 100% without any breakdown to the plant and sales offices. Ensure continued support and availability to EIS system 100% for smooth production. Ensure round the clock uninterrupted network connectivity within the plant. Develop and implement new software within the time frame agreed upon with the users. Fallback arrangement in case of breakdown of the high-end network components like Cisco switches. Adhere to the Information Security policy and implement the same in the plant Ensure user request for modification and changes are addressed in a shortest possible time Ensure any new software requirement are quickly studied and implemented within the target set by the unit or the corporate Ensure validation of different critical computer generated MIS reports including balance sheet which are sent to corporate and other statutory agencies Ensure validation of salary, leave and other critical data before it is released. Key Result Areas KRA (Accountabilities) (Max 1325 Characters)Supporting Actions (Max 1325 Characters)KRA1SoftwareNew developments and Change requests related to Production Planning & Control, Extrusion Information System, Costing, General Ledger Factory Invoice and Expenditure Distribution System of Alupuram ERP. Production Planning & Control module includes Cast house log and ingot receipt, inventory control, production and billet despatch to extrusion, Extrusion Order processing, Lot generation, production, inspection, stretcher, ageing, SHT, rework upto QA clearance for packing, online FG and Test Certificate uploading to Renukoot, Packing list, Invoice and Order Transfer downloading to Alupuram. Extrusion Info System includes Extrusion planning, SCADA software integration with Press PLC and Alupuram ERP, EIS SCADA software interface packages, EIS SCADA software maintenance, billet wise extrusion and delays capturing in production. Costing module includes Billet Inventory processing, Lot wise Machine center wise Time and Cost processing, Metal Card processing, Plan Vs Actual Cost processing. General Ledger Factory Invoice module includes Factory Invoice, Journal Voucher and Trial Balance processing. Expenditure Distribution System includes Daily Cash book, Bank Transactions and Monthwise Shoporder Cost processing. Resolve software breakdowns. Additional Data requirements in Excel for audit/data analysis.KRA2System FacilitationTo ensure proper updating and maintenance of IT system in the plant. Organize AMC for hardware and software and oversee the activities of AMC Service Providers for hardware and software in the plant. Selection of right vendors for supply and maintenance of hardware and software. Control the cost to keep the expenditure within the budgeted figures. Regular interaction with user departments regarding the performance of the systems. Provide systems related training to users in the shop floor and offices. Organize system related accessories, consumables and stationery items for the systems users and systems dept. Provide quick solutions in critical areas during sudden system failures. Quarterly audit to ensure adherence of Information Security PolicyKRA3WCM ActivityTo be an active member of Information Systems and Technology subcommittee. To flow the culture of WCM in the departmentKRA4ISO and OHSAS System UpkeepTo maintain all the ISO and OHSAS documents Toamend necessary changes in documents, procedure andothers related to Systems Department Close and takecorrective action for all the NCR s during external orinternal audits. Ensure 100% Integrated ManagementSystem availability for all usersKRA5ProjectsWork in hand with the other members of SystemsDepartment for preparing and execution of Capex Plan,development activities and modifications. Identify andimplement new projects related to systems for improvingreliability and quality of service.Identify latesttechnologies and implement the same replacing theoutdated and de-supported onesKRA6SupportProvide 24 Hr. System support for uninterrupted plantfunctioning. Provide System support to all Extrusionbranch offices.KRA7HardwareMaintenance of old Hardwares and renewal of AMC sEnsure that the AMC providers are keeping the requiredspares. Ensure that periodical maintenance of H/W isdone Ensure the backups for critical spares and PCs.Ensure un-interrupted network availability. Ensure un-interrupted Application and Database Server availability

Hiring Manager :: Hina Doon Team :: Compliance About Navi Navi is one of the fastest-growing financial services companies in India providing Personal & Home Loans, UPI, Insurance, Mutual Funds, and Gold. Navis mission is to deliver digital-first financial products that are simple, accessible, and affordable. Drawing on our in-house AI/ML capabilities, technology, and product expertise, Navi is dedicated to building delightful customer experiences. Founders: Sachin Bansal & Ankit Agarwal. Know what makes you a Navi_ite : 1. Perseverance, Passion and Commitment Passionate about Navis mission and vision Demonstrates dedication, perseverance and high ownership Goes above & beyond by taking on additional responsibilities 2. Obsession with high quality results Consistently creates value for the customers and stakeholders through high-quality outcomes Ensuring excellence in all aspects of work Efficiently manages time, prioritises tasks and achieves higher standards 3. Resilience and Adaptability Adapts quickly to new roles, responsibilities and changing circumstances showing resilience and agility. Job Summary: As the Head of Compliance, you will oversee the compliance functions across our diverse range of financial services businesses, including lending, insurance, and mutual funds. You will be responsible for developing, implementing, and maintaining a robust compliance program that ensures adherence to all relevant regulations and internal policies. This role requires a strategic leader who can navigate complex regulatory environments and foster a culture of compliance throughout the organization. Key Responsibilities: Leadership and Strategy: - Develop and execute a comprehensive compliance strategy aligned with regulatory requirements across a range of regulated businesses. - Lead and manage the Compliance team, providing guidance, mentorship, and performance evaluations. - Collaborate with senior management to integrate compliance considerations into business strategies and operations. Regulatory Compliance: - Monitor and interpret regulatory developments ensuring the organization remains compliant with all applicable laws and regulations. - Develop and implement policies and procedures to address regulatory requirements and mitigate compliance risks. Compliance Monitoring: - Oversee the design and execution of compliance monitoring programs to ensure effective implementation of compliance policies. - Conduct regular audits and assessments to identify potential compliance issues and recommend corrective actions. Training and Awareness: - Develop and deliver training programs to educate employees on compliance requirements, policies, and procedures. - Foster a culture of compliance through ongoing communication and awareness initiatives. Reporting and Documentation: - Prepare and present compliance reports to senior management and the Board of Directors, highlighting key compliance issues, risks, and action plans. - Maintain accurate records of compliance activities, audits, and investigations. Stakeholder Engagement: - Serve as the primary point of contact for regulatory agencies, auditors, and other external parties on compliance-related matters. - Build and maintain strong relationships with key internal stakeholders to ensure alignment on compliance priorities and initiatives. Qualifications : - Advanced Degree preferred - CA, CS, Law, MBA - Strong understanding of compliance requirements and regulations. - Between 8-10 years post qualifications experience in Banking & Financial Services industry in a compliance or control or risk advisory related function. - Experience in managing regulatory inspections/ audits would be preferable. - Strong analytical and problem solving skills and can thrive under pressure. - Good interpersonal skills and people management skills. - Exceptional communication (both written and verbal) skills - Proven experience in managing compliance teams and leading complex regulatory projects.

Title: Senior Compliance Specialist - Controls and Testing Location: Bangalore Mode : Hybrid (3 days from the office) Working Hours : 45 hours / week We are looking for a Compliance Specialist to join our Risk & Compliance team in India. In this role you will join an international team of colleagues of compliance in Hong Kong, Singapore, China, Australia and India in our Corporate and Legal Solutions ( CLS ) business unit ( BU ). Your Position You will report directly to the APAC Compliance Director and be responsible to support the APAC Compliance team in developing, implementing, and maintaining compliance controls and testing frameworks. Your responsibilities will include Conduct regular audits and assessments to ensure compliance with regulatory requirements and internal policies. Identify and mitigate compliance risks through effective controls and testing. Collaborate with various stakeholders to enhance compliance processes and ensure adherence to best practices. Stay updated with the latest regulatory developments and industry trends. To conduct risk & compliance monitoring on a timely basis, including but not limited to regular review of client entities, transaction monitoring, processing & clearance of suspicious hits, and specific thematic review(s) To prepare relevant risk & compliance management information & reports To participate in ad hoc risk & compliance related projects Your Profile Degree holder in Law, Accounting, Finance or related discipline. Professional certification (ACAMs or equivalent) is highly desirable. Minimum of 6-8 years experience in auditing (Big 4 background is a plus) Solid experience in managing risk & compliance framework in accordance with regulatory and statutory requirements Good understanding of Trust and Corporate Services Business. Understanding of the regulatory framework in one or more of the countries listed above will be a strong advantage. Strong organization and time management skills Ability to independently and effectively work with different stakeholders Excellent command of English is required. Independent, meticulous, pro-active, attentive to details, self-motivated, outspoken, keen to learn, and capable of meeting new challenges with excellent communication skills

Kroll s Compliance Consulting practice assists clients in setting up firms, obtaining their initial regulatory authorization or registration, and providing them with ongoing regulatory compliance advice to navigate the rapidly changing regulatory landscape. Below are the roles and responsibilities for the Analyst , Compliance Consulting role based in India: Day-to-day responsibilities: Supporting the management of a portfolio of clients regulated by regulators in Hong Kong, Singapore, the United States, and other global regulators. Supporting APAC licensing applications for financial institutions. Assisting with preparing compliance training materials for clients. Providing support in the preparation of compliance policies and procedures. Assisting in the setting up of compliance infrastructure and ongoing compliance monitoring, including email reviews and other communication reviews. Assisting in conducting due diligence reviews along with other thematic reviews. Assisting the process of managing client s use of research consultants and expert network providers, which may include sampling and chaperoning calls, identifying any regulatory risks and drafting call report summaries. Providing support on clients regulatory filing and reporting across Asia-Pacific. Providing ad hoc regulatory compliance advice and creative solutions. Drafting and developing compliance monitoring reports / compliance monitoring plans. Managing regulatory filing and reporting schedules. Essential traits: Proven 2-3 years experience in a regulatory / compliance role or audit role, focusing on the financial services industry. General understanding of financial and/or regulatory compliance rules and regulations. Qualified Chartered Accountants would be preferred. Clear, logical thought processes, ability to make decisions and articulate these clearly. Strong English, oral and written communication skills is key. Time management skills and ability to work within deadlines. Prerequisites Driven and able to work both independently in their own initiative and collaboratively as part of a team. Solution-driven and problem-solving attitude. Understanding of the alternative asset management industry. Previous experience in audit and/or legal and compliance is a plus. About Kroll In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity not just answers in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you ll contribute to a supportive and collaborative work environment that empowers you to excel. Kroll is committed to equal opportunity and diversity, and recruits people based on merit. In order to be considered for a position, you must formally apply via careers. kroll. com #LI-IK1 #LI-Hybrid

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements. Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies. Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly. Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity. Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution. Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively. Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance. This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes Preferred candidate profile: Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous. Strong attention to detail, analytical skills, and problem-solving capabilities. Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment. Strong communication skills. Benefits : Fixed pay / Cab provided / Hybrid Contact : Kishore Kumar HR / kishore.kumar@russelltobin.com / 9384052856